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Compliance Specialist – Maternity Coverage – 5 months

Job Title: Compliance Specialist – Maternity Coverage – 5 months
Contract Type: Contract
Location: Hong Kong
Industry:
Reference: TK/11665
Contact Name: Tanya Knott
Contact Email: tk@charlottefrank.com
Job Published: August 01, 2019 09:25

Job Description

Our client is a leading and prestigious investment management firm with an impressive track record and huge global presence. With numerous offices in the Asia Pacific region, the firm has demonstrated its commitment to be a leading asset manager in the region. They are now seeking a detail-minded and highly efficient Compliance Specialist to support their Compliance team. This is an exceptional opportunity for an outstanding candidate whom is passionate about delivery and exceeding expectations. 
 
Responsibilities:
  • Performing ongoing compliance monitoring and conducting regular reviews of the firm’s activities in Asia whilst ensuring adherence to regulatory requirements, internal policies and procedures
  • Reviewing and approving marketing materials
  • Overseeing the onboarding and ongoing review of client accounts, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date
  • Reviewing and resolving exceptions arising from the compliance monitoring program and other transactional data
  • Assisting with all matters related to the firm’s regulated activities, including: licensing and registrations; liaising with regulator(s) on routine matters; and, undertaking regulatory and trade reporting
  • Providing ad hoc compliance advice and ongoing consulting
 
Requirements:
  • Degree qualified in Accountancy, Banking, Finance, Law or related fields
  • Preference for those coming from financial institutions
  • Sound understanding / knowledge of the relevant laws, regulations, rules, codes and guidelines in Hong Kong
  • Business level fluency in reading, writing and speaking in both English and Chinese is a prerequisite; and a reasonable level of fluency in reading simplified Chinese and speaking Mandarin is preferred
  • Outstanding interpersonal and communication skills
  • Proactive work attitude with ability to work autonomously and collaboratively
  • Highly organized with strong attention to detail
For further details please contact Tanya Knott at +852 2526 8116 or send us your details to tk@charlottefrank.com

Job Code: TK/11665

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